DP
Dawn E. Parks
CETERA INVESTMENT ADVISERS LLC
SCHAUMBURG, IL 60173-2096
Some features on this profile are disabled
CRD#: 2758734
DP
Professional summary
Dawn Eisele Parks, CFP®, CLU®, who also goes by Dawn E Eisele, Dawn Elizabeth Eisele, Dawn Elizabeth Parks, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Plano, Texas.
Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Dawn has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dawn E Eisele | Dawn Elizabeth Eisele | Dawn Elizabeth Parks
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) DAWN EISELE PARKS FINANCIAL SERVICES POSITION: Financial services NATURE: TAX PURPOSES ONLY INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 9/2/2015 ADDRESS: Richardson TX 75080, United States DESCRIPTION: For tax purposes only 2) DAWN EISELE PARKS FINANCIAL SERVICES; POSITION: Financial Advisor NATURE: TAX PURPOSES ONLY INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2006 ADDRESS: 8501 Wade Blvd, Ste 1150, Frisco TX 75034, United States DESCRIPTION: Financial services activities - asset management, insurance solution implementation 3) DAWN EISELE PARKS FINANCIAL SERVICES DBA SUNNY DAY FINANCIAL POSITION: Financial Advisor NATURE: Updated LLC to be DBA for full financial services firm. I am purchasing the assets and clients of the "Frisco" office of WealthCare Financial and will use Sunny Day once the purchase is complete. INVESTMENT RELATED: No NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 07/31/2023 ADDRESS: 8501 Wade Blvd Ste 1150, Frisco TX 75034, United States DESCRIPTION: Owner of Sunny Day. Day to day activities include Financial services activities - asset management, insurance solution implementation, financial and income planning. 4) SUNNY DAY INVESTMENT PROPERTIES LLC POSITION: Owner NATURE: Investment Property, rental home INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2025 ADDRESS: 4324 Mapleshade Lane, #270, Plano TX 75093, United States DESCRIPTION: Owner and manager of rental property for investment purposes. 5) SDF TAX SERVICES LLC POSITION: Owner NATURE: Tax return preparation INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 08/04/2025 ADDRESS: 4324 Mapleshade Lane, #270, Plano TX 75093, United States DESCRIPTION: I am the owner of the company, offering tax planning, tax preparation, and consultation. Gathering tax documents, preparing and meeting with clients to discuss.
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Eisele Parks's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2007
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096RIA
CRD#: 105644
SCHAUMBURG, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4324 Mapleshade Lane #270, Plano, TX 75093BD
CRD#: 13572
Plano, TX
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Plano, TX
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Plano, TX
Past
September 11, 2015 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
FRISCO, TX
Past
September 2, 2015 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
FRISCO, TX
Past
May 27, 2014 - August 25, 2015
OSAIC FA, INC.
RIA
CRD#: 3978
DALLAS, TX
Past
May 27, 2014 - August 25, 2015
OSAIC FA, INC.
BD
CRD#: 3978
DALLAS, TX
Past
January 22, 2013 - March 26, 2014
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
PLANO, TX
Past
October 1, 2012 - December 3, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
PLANO, TX
Past
October 1, 2012 - May 23, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
PLANO, TX
Past
May 2, 2007 - August 6, 2012
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
DALLAS, TX
Past
November 3, 2004 - August 6, 2012
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
May 3, 2002 - November 9, 2004
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
IRVING, TX
Past
May 3, 2002 - November 9, 2004
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
October 17, 2000 - April 16, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
December 20, 1996 - October 6, 2000
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/5/2025)
RR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/18/2025)
RR
Indiana(9/5/2025)
RR
Missouri(9/5/2025)
RR
New Mexico(9/18/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/19/2025)
RR
Oklahoma(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Tennessee(9/18/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
